CD
Christopher M. Dowden
HARGER AND COMPANY
Baton Rouge, LA 70809
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CRD#: 4089978
CD
Professional summary
Christopher Michael Dowden, CFP®, who also goes by Mike Dowden, is a registered financial advisor currently at HARGER AND COMPANY, INC. located in Baton Rouge, Louisiana.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Dowden
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
OFFICER IN ATM PROPERTIES AND RL HARGER AND ASSOCIATES, INC. None of these activities are investment related. The address of the business is 8048 One Calais Avenue Suite D Baton Rouge, LA 70809. RL Harger and Associates is the parent company of Harger and Company, Inc. and ATM Properties is the company that owns the building that Harger and Company, Inc. rents. I am an officer of both companies. I started my relationship with RL Harger and Associates in 2000 and ATM Properties in 2008. I spend about 3 hours per month on each of these companies during trading hours. The only duties that I do with these companies is general office related duties.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Michael Dowden's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael Dowden's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2008
Experience
Current
April 27, 2012 - Present
HARGER AND COMPANY, INC.
Office #1: 8048 One Calais Avenue Suite D, Baton Rouge, LA 70809RIA
BD
CRD#: 10385
Baton Rouge, LA
Current
October 4, 2000 - Present
HARGER AND COMPANY, INC.
Office #1: 8048 One Calais Avenue Suite D, Baton Rouge, LA 70809RIA
BD
CRD#: 10385
Baton Rouge, LA
Past
January 2, 2000 - October 5, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 2, 2000 - October 5, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HA
HARGER AND COMPANY, INC.
HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.
CRD#: 10385 / SEC#: 801-129739, 8-27287
RIA
Registered Investment Advisory firm - SEC (3/22/2024 Approved)Louisiana
Registered Investment Advisory firm - SEC (4/1/1996 Approved)Texas
Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Indiana(3/18/2024)
RR
Louisiana(10/4/2000)
IAR
Louisiana(4/27/2012)
RR
Texas(1/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HARGER AND COMPANY, INC.
HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.
CRD#: 10385 / SEC#: 801-129739, 8-27287
RIA
Registered Investment Advisory firm - SEC (3/22/2024 Approved)Louisiana
Registered Investment Advisory firm - SEC (4/1/1996 Approved)Texas
Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
8048 One Calais Ave Suite D Suite D, Baton Rouge, LA 70809
Mailing Address
8048 One Calais Ave Suite D, Baton Rouge, LA 70809
Phone number
(225) 767-7228
Established
Louisiana since 01/01/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3
SEC notice filing (2 States and Territories)
FINRA licenses (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 427 |
| AUM (Assets Under Management) | $ 123,253,006 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HARGER AND COMPANY, INC.
CRD#: 10385Baton Rouge, LA 70809TRUST BUT VERIFY
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